DFX Intelligence
RIA Intelligence
Registered investment advisers, the advisors registered through them, the capital they report, the private vehicles they run and the people who own them, as a graph with a filing date behind every number. RAUM is what the adviser filed, a move is two registration dates, and a class is a rule you can read.
SEC-registered adviser
Wellington Shields & Co., LLC
Latest filing Mar 17, 2026
First filing on the tape Mar 29, 2012 · 30 filings
SEC status approved since Mar 9, 2010
RAUM
$546M
reported, Item 5.F
Discretionary
94%
of RAUM
Private clients
91%
$497M individuals and HNW
Advisors
23
registered through the firm on IAPD
RAUM per advisor
$23.7M
derived; firm RAUM over IAPD count
Employees
25
15 advisory (5.B.1)
Offices
2
beyond the principal office
Private funds
0
reported on Schedule D
History
30 filings and snapshots on the tape
RAUM$546M as of Mar 17, 2026
Mar 29, 2012$229M then
HNW client RAUM$419M as of Mar 17, 2026
Mar 26, 2018$215M then
State-registered IARs (5.B.3)18 as of Mar 17, 2026
Mar 29, 20120 then
Employees (5.A)25 as of Mar 17, 2026
Mar 22, 201325 then
Private funds: no history
RAUM +16% over the last fiscal year+13% a year over threeIARs 18 to 18
Practice profile
derived from the filing of Mar 17, 2026; every figure names its basis
Archetypes, each a printed rule
- Broker-dealer affiliated · Item 7.A.1 (broker-dealer affiliate) and at least 50 registered representatives (Item 5.B.2), or the adviser is itself a broker-dealer (6.A.1)
- HNW wealth manager · private-client share of RAUM at least 50 percent and HNW share of private-client RAUM 50 to 90 percent
- Wrap program sponsor · sponsors a wrap fee program (5.I) with at least $100M of wrap assets
- RAUM per advisor
- $23.7MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 25derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $2.6MderivedHNW RAUM over HNW clients
- Average account
- $920,682derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 94%derivedof RAUM
- Institutional
- 2.1%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.1derivedItem 5.A over advisors
- Advisors per office
- 7.7derived3 offices incl. principal (1.F.5)
- RAUM growth, one year
- +16%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +13%derived
- Compensation
- percentage of assets, fixed feesreportedItem 5.E
- Advisory activities
- portfolio management for individualsreportedItem 5.G
- Wrap fee program
- $244MreportedItem 5.I
- Custody
- $524M, 592 clientsreportedItem 9.A
- Ownership
- no PE, bank or public-company owner found on Schedule Aderived
- Advisor book size
- not public; not estimatedreported
Also answered yes on Form ADV
- is a broker-dealer (6.A.1)
- is an insurance broker or agent (6.A.6)
- buys or sells securities as principal to or from clients (8.A.2)
- has discretionary authority over which securities are bought or sold (8.C.1)
- receives research or other products from a broker-dealer, soft dollars (8.E)
- has custody of client cash or bank accounts (9.A.1.a)
- has custody of client securities (9.A.1.b)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$419M77%
- Individuals$78.5M14%
- Corporations and businesses$37.2M6.8%
- Charitable organizations$10.0M1.8%
- Pension and profit-sharing plans$1.3M0.2%
- Individual clients
- 416reported
- HNW clients
- 164reported
- Pension plan clients
- 0reported
- Charitable clients
- n/areported
- Accounts
- 593reported
- Financial planning clients
- reported
- Wrap fee programs
- $0 sponsored, $0 managedreported
- Custody of client assets
- $524M for 592 clientsreported
- Compensation
- % of AUM, fixedreported
- Class basis
- private_client_share=0.91 fund_share=0.0 institutional_share=0.02 related_bd=true related_bank=false bd_reps=19.0derived
Advisors registered through the firm
22 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| Kristina Metz Furnari | Flagler Beach, Fl | Mar 9, 2010 | 25 y | 1 |
| Deborah Beaufait Gaskins | New York, Ny | Mar 9, 2010 | 37 y | 2 |
| Philip Francis Walkley | New York, Ny | Mar 9, 2010 | 42 y | 1 |
| Georges Carter Boyer | Peapack, Nj | Mar 9, 2010 | 41 y | 1 |
| Mark Porter Sperry | Chatham, Ma | Mar 26, 2010 | 41 y | 1 |
| Scott Robert Purinton | Hawley, Ma | Mar 26, 2010 | 51 y | 1 |
| Alexander Maclin CrippsChartered Financial Analyst | New York, Ny | Mar 29, 2010 | 23 y | 1 |
| Patricia Diane Powell | Thomasville, Ga | Feb 16, 2015 | 28 y | 2 |
| James Edward Fahey | Locust Valley, Ny | Feb 7, 2017 | 34 y | 2 |
| Robert Kenneth Oneal | Thomasville, Ga | Dec 19, 2017 | 40 y | 0 |
| Mark Donald Pankoff | New York, Ny | Jul 9, 2018 | 16 y | 1 |
| Noel Kezsbom | New York, Ny | Oct 19, 2018 | 46 y | 1 |
| Ellen Purinton | Shelburne Falls, Ma | Jun 29, 2021 | 31 y | 0 |
| Stephen John Portas | Thomasville, Ga | Aug 30, 2021 | 32 y | 0 |
| Anthony Joseph Daprato | New York, Ny | Sep 3, 2021 | 40 y | 1 |
| Donald E Chappell | New York, Ny | Sep 10, 2021 | 17 y | 0 |
| Guy Maxwell Ule | New York, Ny | Jan 19, 2022 | 46 y | 0 |
| Timothy GaulinCertified Financial Planner | Shelburne Falls, Ma | Dec 8, 2022 | 10 y | 0 |
| Joseph Barbera | New York, Ny | Jun 6, 2023 | 10 y | 1 |
| Charles Richard Thompson | New York, Ny | Jan 22, 2025 | 29 y | 2 |
| William Shelton Hayes | New York, Ny | Feb 14, 2025 | 20 y | 0 |
| William Robert Purinton | Shelburne Falls, Ma | Jul 2, 2026 | 10 y | 0 |
Advisor movement
1 left, 0 joined in 12 months
net -1 in 12 months0 left in 90 days0 joined in 90 daysdeparture rate 4.3% of current headcount2 left over 36 months
Left, latest
- Joseph Matthew Edwards to LPL Financial LLCMar 24, 2026 · RIA to affiliated broker-dealer or bank
- Terence William Brogan to Brogan Asset Management, LLCJul 1, 2025 · RIA to a state-registered adviser
- Steven Marc Heinowitz to Quint Capital ManagementJan 19, 2022 · RIA to RIA
- Bradley Scott Tremitiere to Ranch Capital Advisors Inc.Aug 7, 2019 · RIA to RIA
- Michael Gregory Dickerson to Middlebury Asset Advisors Inc.Feb 21, 2012 · Other
Joined, latest
- Joseph Barbera from Fidelity Personal And Workplace AdvisorsJun 6, 2023 · Affiliated broker-dealer or bank to independent RIA
- Anthony Joseph Daprato from RBC Capital Markets, LLCSep 3, 2021 · Affiliated broker-dealer or bank to independent RIA
- Steven Marc Heinowitz from Citigroup Global Markets Inc.Sep 4, 2019 · Affiliated broker-dealer or bank to independent RIA
- Noel Kezsbom from Janney Montgomery Scott LLCOct 19, 2018 · Affiliated broker-dealer or bank to independent RIA
- Mark Donald Pankoff from Oppenheimer & Co. Inc.Jul 9, 2018 · Affiliated broker-dealer or bank to independent RIA
- James Edward Fahey from Oppenheimer & Co. Inc.Feb 7, 2017 · Other
- Patricia Diane Powell from Suntrust Investment Services, Inc.Feb 16, 2015 · Other
- Alexander Maclin Cripps from H. G. Wellington & Co., Inc.Mar 29, 2010 · Other
- Scott Robert Purinton from H. G. Wellington & Co., Inc.Mar 26, 2010 · Other
- Mark Porter Sperry from H. G. Wellington & Co., Inc.Mar 26, 2010 · Other
- Kristina Metz Furnari from H. G. Wellington & Co., Inc.Mar 9, 2010 · Other
- Deborah Beaufait Gaskins from Shields & CompanyMar 9, 2010 · Other
- Michael Gregory Dickerson from H. G. Wellington & Co., Inc.Mar 9, 2010 · Other
- Philip Francis Walkley from H. G. Wellington & Co., Inc.Mar 9, 2010 · Other
- Georges Carter Boyer from H. G. Wellington & Co., Inc.Mar 9, 2010 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- Philip Michael Curcuru · Cfo/Coocontrolsince 11/2008 · owns less than 5%
- Thomas Waters Grant · Managing Membercontrolsince 11/2008 · owns less than 5%
- Paul Immo Jr Gulden · Managing Membercontrolsince 11/2008 · owns less than 5%
- Edward Kenneth March · Svp, Head Of Trading, Msrb Principal, Srop/Cropcontrolsince 07/2011 · owns less than 5%
- William Jameson Mcfadden · Ceocontrolsince 01/2023 · owns less than 5%
- Stephen John Portas · President, Chief Compliance Officercontrolsince 01/2023 · owns less than 5%
- Laurence Arthur Shadek · Managing Member/Secycontrolsince 10/2008 · owns less than 5%
- David Vincent Shields · Chairman/Managing Membercontrolsince 10/2008 · owns less than 5%
- Mark Porter Sperry · Membercontrolsince 10/2008 · owns less than 5%
- William Jameson Mcfadden · Elected Managercontrolsince 10/2009 · owns 25% to 50% of Shields & Company
- Laurence Arthur Shadek · Elected Managercontrolsince 10/2009 · owns 25% to 50% of H.G. Wellington & Co.
- David Larus Shields · Shareholdercontrolsince 10/2009 · owns 25% to 50% of Shields & Company
- David Vincent Shields · Elected Managercontrolsince 10/2009 · owns 25% to 50% of Shields & Company
- Joseph Nicholas Cembrola · Member Operationssince 11/2008 · owns less than 5%
- James Mcclenahan Shadek · Member-Salessince 11/2008 · owns less than 5%
Entity owners
- Wellington Shields Holdings, LLC · Ownerdirect · owns 75% or more
- H.G. Wellington & Co. · Ownerindirect · owns 25% to 50% of Wellington Shields Holdings, LLC
- Shields & Co. · Ownerindirect · owns 50% to 75% of Wellington Shields Holdings, LLC
Related persons
Schedule D 7.A
- Capital Management Associates Incinvestment advisernRAUM $68.7M
- Wellington Shields Capital Management, LLCinvestment advisernRAUM $1.2B
Advisers that list Wellington Shields & Co., LLC as a related person
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| New York, Ny · principal | 18 | 1 | 0 | ||
| Shelburne Falls, Ma | 4 | 1 | 0 | ||
| Thomasville, Ga | 4 | 0 | 1 | ||
| Reading, Ma | 0 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
- Thomasville, GA3 employees
- Shelburne Falls, MA3 employees
What changed
consecutive filings, newest first
- Accounts · 524 to 593Mar 24, 2025 to Mar 17, 2026
- Corporate clients · 5 to 6Mar 24, 2025 to Mar 17, 2026
- HNW clients · 149 to 164Mar 24, 2025 to Mar 17, 2026
- Individual clients · 365 to 416Mar 24, 2025 to Mar 17, 2026
- Assets in custody · $452M to $524MMar 24, 2025 to Mar 17, 2026
- Discretionary RAUM · $431M to $511MMar 24, 2025 to Mar 17, 2026
- HNW RAUM · $380M to $419MMar 24, 2025 to Mar 17, 2026
- Individual RAUM · $62.7M to $78.5MMar 24, 2025 to Mar 17, 2026
- Non-discretionary RAUM · $40.4M to $34.8MMar 24, 2025 to Mar 17, 2026
- Pension RAUM · $847,230 to $1.3MMar 24, 2025 to Mar 17, 2026
- RAUM · $471M to $546MMar 24, 2025 to Mar 17, 2026
- Accounts · 493 to 524Oct 14, 2024 to Mar 24, 2025
- Advisory employees · 16 to 15Oct 14, 2024 to Mar 24, 2025
- BD registered reps · 20 to 19Oct 14, 2024 to Mar 24, 2025
- HNW clients · 142 to 149Oct 14, 2024 to Mar 24, 2025
- Individual clients · 341 to 365Oct 14, 2024 to Mar 24, 2025
- Assets in custody · $391M to $452MOct 14, 2024 to Mar 24, 2025
- Employees · 24 to 25Oct 14, 2024 to Mar 24, 2025
- Insurance-licensed employees · 4 to 6Oct 14, 2024 to Mar 24, 2025
- Financial planning clients · unset to Oct 14, 2024 to Mar 24, 2025
- State-registered IARs · 19 to 18Oct 14, 2024 to Mar 24, 2025
- Discretionary RAUM · $371M to $431MOct 14, 2024 to Mar 24, 2025
- HNW RAUM · $322M to $380MOct 14, 2024 to Mar 24, 2025
- Individual RAUM · $55.5M to $62.7MOct 14, 2024 to Mar 24, 2025
- Non-discretionary RAUM · $37.9M to $40.4MOct 14, 2024 to Mar 24, 2025
- Pension RAUM · $427,100 to $847,230Oct 14, 2024 to Mar 24, 2025
- RAUM · $409M to $471MOct 14, 2024 to Mar 24, 2025
- Accounts · 415 to 493Mar 22, 2023 to Mar 12, 2024
- Advisory employees · 13 to 16Mar 22, 2023 to Mar 12, 2024
- BD registered reps · 17 to 20Mar 22, 2023 to Mar 12, 2024
- Corporate clients · 7 to 5Mar 22, 2023 to Mar 12, 2024
- HNW clients · 125 to 142Mar 22, 2023 to Mar 12, 2024
- Individual clients · 279 to 341Mar 22, 2023 to Mar 12, 2024
- Assets in custody · $357M to $391MMar 22, 2023 to Mar 12, 2024
- Employees · 23 to 24Mar 22, 2023 to Mar 12, 2024
- Insurance-licensed employees · 3 to 4Mar 22, 2023 to Mar 12, 2024
- State-registered IARs · 16 to 19Mar 22, 2023 to Mar 12, 2024
- Discretionary RAUM · $350M to $371MMar 22, 2023 to Mar 12, 2024
- HNW RAUM · $302M to $322MMar 22, 2023 to Mar 12, 2024
- Individual RAUM · $44.9M to $55.5MMar 22, 2023 to Mar 12, 2024
Signals
5 dated events
- Joseph Matthew Edwards left Wellington Shields & Co., Llc for Lpl Financial Llc (registered 2026-04-14)Mar 24, 2026 · Advisor changed firm · fact
- Terence William Brogan left Wellington Shields & Co., Llc for Brogan Asset Management, Llc (registered 2025-12-03)Jul 1, 2025 · Advisor changed firm · fact
- Maury Shields (Executrix) no longer on Schedule A of Wellington Shields & Co., Llc (listed 2022-10-14, absent 2023-03-22)Mar 22, 2023 · Control person left · inference
- David Larus Shields (Shareholder) appeared on Schedule A of Wellington Shields & Co., LlcMar 22, 2023 · Control person joined · fact
- Steven Marc Heinowitz left Wellington Shields & Co., Llc for Quint Capital Management (registered 2022-01-18)Jan 19, 2022 · Advisor changed firm · fact
Across DFX
shared identifiers only, never a name match
No identifier-backed link to the venture, private equity, family office or sponsor graphs.
How to reach
public business contact points only, each with its source
- Business email
- info@wellingtonshields.comreportedpublished by the firm, firm site, Sep 15, 2026
- Business email
- locustvalley@wellingtonshields.comreportedpublished by the firm, firm site, Sep 15, 2026
- Business email
- thomasville@wellingtonshields.comreportedpublished by the firm, firm site, Sep 15, 2026
- Business phone
- 413-625-5959reportedpublished by the firm, firm site, Sep 15, 2026
- Business phone
- 212-320-3000reportedpublished by the firm, firm site, Sep 15, 2026
- Business phone
- 229-226-0020reportedpublished by the firm, firm site, Sep 15, 2026
- Firm profile
- linkedin.com/company/2048392reportedpublic record, Form ADV, Sep 18, 2026
- Website
- WELLINGTONSHIELDS.COMreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 212-320-2000reportedpublic record, Form ADV, Mar 17, 2026
- Contact form
- wellingtonshields.com/contact-usreportedpublished by the firm, firm site, Sep 15, 2026
- Team page
- wellingtonshields.com/our-teamreportedpublished by the firm, firm site, Sep 15, 2026
Provenance
- Form ADV
- SEC filing data 2011 to 2024 and the monthly roster 2025 onreportedadviserinfo.sec.gov
- Advisors
- IAPD individual compilation feed, dailyreportedadviserinfo.sec.gov
- Class
- Independent wealth managerderiveda rule over Items 5.D and 7.A
- RAUM per advisor
- $23.7Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026